Tag: suitability

The collapse of MF Global was a key topic on Capital Hill this week. Lawmakers heard testimony from the former chairman of the firm as well as FINRA. In other congressional hearings the SEC Enforcement Director told a committee that …

THIS WEEK IN SECURITIES LITIGATION (December 9, 2011) Read More »

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The SEC’s Division directors reported to Congress this week on the progress of the reforms at the Commission. SEC Enforcement brought an investment fund fraud action this week centered on luring investors with the prospect of acquiring pre-IPO shares of …

THIS WEEK IN SECURITIES LITIGATION (November 18, 2011) Read More »

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